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Offices in Indiana and New York City

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Home > Stockbroker Misconduct > Stockbroker Misrepresentation

Stockbroker Misrepresentation

State and Federal securities laws require stockbrokers, investment professionals and brokerage firms to provide complete and factually accurate information regarding a client's proposed investments. Failure to provide factually accurate and complete information about a recommended investment or presenting information in a manner that is otherwise misleading can be the basis for securities arbitration claims.

Securities misrepresentation involves a breach of good faith by a stockbroker not to misrepresent material facts to clients regarding the sale or recommendation of their investments.

Securities omissions occur when a stockbroker fails to inform a client about important information concerning an investment. This includes disclosing various risks associated with that investment. For a free initial consultation regarding your securities claim, contact Mark Maddox at 800-505-5515. Or, fill out the contact form on this Web site to obtain candid legal advice.


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